Registered Client Service Associate

Raymondjames; Michigan; On-site; USD 45,000 - 70,000; Full time

Job summary

Raymond James seeks a dynamic Registered Client Service Associate to provide high-touch administrative support to Financial Advisors and clients. You will manage inquiries, assist with onboarding, and coordinate meetings across in-person, phone, and virtual channels.

The ideal candidate communicates effectively, handles multiple tasks with changing priorities, and uses CRM and Excel to prepare reports and maintain client records in a fast-paced environment while ensuring compliance and quality

Qualifications

• High School Diploma or equivalent; 1+ year securities industry experience preferred.
• SIE required; Series 7 required; Series 63/65/66 as state requirements dictate.

Responsibilities

• Serves as first contact for high-volume inquiries, quotes, and meeting scheduling with clients across channels.
• Onboards new clients, opens accounts, researches client and security info using internal databases.
• Prepares financial reports, inputs orders, rebalances portfolios as directed by Advisors.
• Maintains CRM records, supports marketing events and training opportunities.

Skills

CRM software

Excel

Communication

Organization

Investment concepts

Financial markets

Trading terminology

Account research

Task management

Customer service

Education

High School Diploma

Tools

CRM software

Trading platforms

Excel

Goal planning software

Job description

Job Description Summary

Job Description

Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role helps to provide high quality/high touch critical administrative support to Financial Advisors, their prospective and existing clients and other branch staff team members. The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.

Responsibilities:

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings.


• Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.


• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.


• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.


• Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received.


• Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.


• Reviews, assesses and responds to all corporate action items and client account alerts.


• Prepares financial reports, spreadsheets and other materials for client meetings.


• Inputs orders and rebalances portfolios on behalf of the Financial Advisors.


• Creates and maintains records and files utilizing Client Relationship Management (CRM) software.


• Assists Financial Advisors with marketing efforts including seminars and other client-facing events.


• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.


• Performs other duties and responsibilities as assigned.

Skills:

• Company's working structure, policies, mission, and strategies.


• Managed account platforms.


• General office practices, procedures, and methods.


• Investment concepts, practices and procedures used in the securities industry.


• Financial markets, products and industry regulations.


• Trading terminology.


• Client Relationship Management (CRM) software, or similar contact management software.


• Goal planning software.


• Excel, including developing spreadsheets as needed and for ongoing reporting.


• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)


• Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.


• Analyze and research account information.


• Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.


• Identify time sensitive items and assess competing priorities.


• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.


• Handle stressful situations and provide a high level of customer service in a calm and professional manner.


• Analyze problems and establish solutions in a fast paced environment.


• Use mathematics sufficient to process account and transaction information.


• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.


• Work both independently and as part of a cohesive team.


• Provide a high level of customer service.

Education/Previous Experience

High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.


• Series 7 required.


• Series 63, 65 and/or 66 as required by state.

Education

High School (HS) (Required)

Work Experience

General Experience - 13 months to 3 years

Certifications

s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Indust